Integrate easily with any trade order management system for real-time testing
Maintaining compliance with The Investment Advisers Act of 1940 Rule 204A-1, The Investment Company Act of 1940 Rules 17j-1, and FINRA Rules (NASD) 3050 and 3220, among other regulations, is essential to avoid significant penalties and extensive reputational damage.
Our proven OneSumX for Employee Compliance solution automates Code of Ethics compliance for monitoring personal trading, gifts & entertainment and political contributions. With OneSumX for Employee Compliance in place, your firm saves time through reduced manual procedures, increases productivity by freeing up resources, and effectively controls related compliance and operational risks.
Our proven OneSumX for Employee Compliance solution automates Code of Ethics compliance for monitoring personal trading, gifts & entertainment and political contributions. With OneSumX for Employee Compliance in place, your firm saves time through reduced manual procedures, increases productivity by freeing up resources, and effectively controls related compliance and operational risks.
Employee Compliance Benefits At-A-Glance
Streamline Code of Ethics Compliance
Customize consolidated dashboard views of insider trading and other codes of ethics risks
Monitor employee gifts and entertainment with online record keeping, streamlined approval workflows, and efficient reporting
Monitor and track employee trading and personal account dealings
Select from various standard and custom certifications
Import electronic broker feeds directly into the systems
Additional features include:
Over 1,000 reporting combinations to choose from, exportable to Excel®, PDF, HTML, and other formats
Multi-tiered approval processing
Global Security Master provided by SIX Financial Information Available as an ASP or Enterprise Hosted solution
OneSumX Employee Compliance Components
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Streamline Code of Ethics Compliance